DELAWARE PUBLIC ARCHIVES POLICY STATEMENT AND GUIDELINES ELECTRONIC MAIL

Size: px
Start display at page:

Download "DELAWARE PUBLIC ARCHIVES POLICY STATEMENT AND GUIDELINES ELECTRONIC MAIL"

Transcription

1 COMMUNICATIONS AND RECORDS DELAWARE PUBLIC ARCHIVES POLICY STATEMENT AND GUIDELINES ELECTRONIC MAIL Electronic mail systems, commonly called , are becoming the communications method of choice for many public officials and public employees in Delaware. messages are often used as substitutes for the telephone. Simultaneously, Delaware government is using systems to communicate substantive information previously committed to paper and transmitted by traditional methods. This interesting combination of communication and records keeping has created ambiguities on the status of messages. The management of systems touches on nearly all functions which a government agency is dependent on records keeping for: privacy, administration, vital records management, administrative security, auditing, access, and archives. The need to manage systems properly, then, is the same as for other records keeping systems - to ensure compliance with Delaware statutes concerning the creation of, retention of, and access to public records. DEFINITIONS systems are store-and-deliver software systems which transport messages from one computer user to another. systems range in scope and size from a local area network system which shuffles messages to users within an agency or office; to a wide area network system which carries messages to various users in various physical locations; to Internet which allows users with an Internet address to send and receive messages from other Internet users around the world. messages are text documents which are created, stored, and delivered in an electronic format. As such, messages are similar to other forms of communicated messages, such as correspondence, memoranda, and circular letters. messages also contain features commonly associated with traditional records systems, including calendars, directories, distribution lists, and attachments such as word processing documents, spreadsheets, or images that are incorporated into an message. LEGAL BACKGROUND 29 Delaware Code 502(a) defines a public record as any document, book, photographic image, electronic data recording, paper, sound recording or other material regardless of physical form or characteristics, including electronic records created or maintained in electronic information systems, made, used, produced, composed, drafted or otherwise compiled or collected or received in connection with the transaction of public business or in any way related to public purposes by any officer or employee of this State or any political subdivision thereof. (Emphasis added.) Because messages meet the above criteria, all provisions of the Delaware Public Records Law (29 Delaware Code ) apply. State and local government agency heads should ensure that all employees recognize that each message may constitute a record, thus requiring that its disposition be planned, managed, and carried out according to the Delaware Public Records Law s requirements for records retention and disposition schedules, and using procedures of the Delaware Public Archives (DPA) for authorizing records disposition. Public officials should also note that the retention of records maintained in electronic files is the same as for similar records maintained in traditional paper formats unless otherwise specified by an authorized retention schedule. It is the record and its content and function, not the media, which drive retention and disposition decisions, although the same record created in both paper and electronic format may have a different retention requirement for each format. Public officials also need to be aware that messages are subject to provisions of the Delaware Freedom of Information Act found in 29 Delaware Code and the requirement of 29 Delaware Code 504 that public officials and employees adequately document the transaction of public business and retain and adequately protect all public records in their custody. WHAT TO RETAIN? HOW LONG?

2 messages, like other public records generated across government, fall into two broad categories: records common to all agencies, and records unique to a specific agency. Examples of records unique to a specific agency include a client case file, a register of permits issued by the agency, or a student cumulative file. Prescribed retention periods and instructions for records unique to an agency can be found on its agency-specific records retention schedule. This schedule is created by the Delaware Public Archives and the agency, and is reviewed by the State Auditor and the Attorney General (when appropriate) before becoming effective. Examples of records common to all agencies include weekly reports, purchase orders, administrative memoranda, and routine correspondence. Prescribed retention periods and instructions for records common to all agencies can be found in General Records Retention Schedules issued by DPA. (These schedules are available on DPA s web site: Using these schedules for guidance, we can classify into four broad categories: Transitory Files; Retention Specific Records; Administrative Support Records; and Policy and Program Records. Transitory Files are defined as: Documents of short term interest that have no documentary or evidential value and normally need not be kept more than 1 month. Examples of transitory correspondence are: 1. Routine requests for information or publications which require no administrative action, policy decision, or special compilation or research, and copies of replies. 2. Originating office copies of letters of transmittal that do not add any information to that contained in the transmitted material, and receiving office copy if filed separately from transmitted material. 3. Quasi-official notices including memoranda and other records that do not serve as the basis of official actions, such as holiday notices, charity and welfare fund appeals, bond campaigns, etc. Transitory Files should be retained by an agency for one (1) month after creation. Records meeting this definition can be routinely destroyed in the normal course of business by an agency. Retention Specific Records are defined as: Records with retention periods that are time-limited or linked to specific events (e.g. 6 months; 5 years; termination of employee; 3 years after close of case; 3 years after last visit; etc.). Examples of time-limited records are, but not limited to: 1. Case Files 2. Telephone Logs 3. Incident Reports 4. Unsuccessful Applications 5. Record Request Forms Retention Specific Records should be retained for the length of their stated retentions. Records meeting this definition can be routinely destroyed in the normal course of business by an agency, assuming there are no outstanding legal or audit issues. Administrative Support Records are defined as: Records of a general facilitative nature created or received in the course of administering programs. Included are such records as: 1. Correspondence of a routine or repetitive type, such as requests for information; 2. Inter-office or inter-departmental communications which do not subsequently result in the formulation of policy; 3. Reference materials, sometimes of a technical nature, used but not created by the office;

3 4. Daily, weekly, or monthly office activity reports which are summarized in annual reports or which relate to routine activities (including work progress or statistical reports prepared in the office and forwarded to higher levels); 5. Personnel data of office staff which is duplicated in departmental personnel record; 6. Purchase orders, payment vouchers, travel expense statements or similar financial documents which are duplicated in department/division fiscal office files; 7. Daily, weekly, or monthly work assignments (including duty roster files) for office staff; 8. Calendars, appointment books, schedules, logs, diaries, and other records documenting meetings, appointments, telephone calls, trips, visits, and other daily activities of state employees; and 9. Unpublished calendars of events and activities. Administrative Support Records should be retained at the agency until a successful audit has been completed and then destroyed. Records meeting this definition can be routinely destroyed in the normal course of business by an agency. Policy and Program Records (Primary Mission Files) are defined as: Records documenting the formulation and adoption of policies and procedures and the implementation or management of the programs or functions of the office or department. Included are such records as: 1. Policies and procedures developed by the agency which govern the operation of the agency; 2. Correspondence with citizens or other government officials regarding policy, procedure development, or program administration; 3. Annual, ad hoc, narrative, or statistical reports on program activities, achievements or plans; 4. Organizational charts and mission statements; 5. Studies regarding department or office operations; 6. Circular letters, directives or similar papers addressed to subordinate units or staff concerning policies, procedures or programs; 7. Records related to significant events in which the department or office participated; and 8. Photographs, published material, audio tapes and other record forms. Policy and Program Records should be retained permanently and should be scheduled for transfer to DPA at some time during their life cycle. HOW TO RETAIN RECORDS FROM AN SYSTEM DPA recommends that agencies explore three options when retaining records from an system: on-line storage; near-line storage; and off-line storage. Each of these options carries with it benefits and disadvantages and may be affected by your agency's information technology environment. On-line storage is defined as storage of messages, metadata, and attachments in an system which is being used at an agency. The system in use does not necessarily have to be the same throughout the retention. For example, a message stored in Beyond Mail may also be accessed, read, and then stored again by using Banyan 'Blue" Mail. On-line storage maintains the full functionality of the message, and allows users to recall the message at any time for reference or responding. A disadvantage of on-line storage is the potential costs and effects of storage on the performance of the system. Any solution to retention which includes on-line storage should be done only after consultation with the agency information resource manager and the agency network administrator. Near-line storage is defined as storage of messages, metadata, and attachments in an electronic record keeping system. This type of storage requires that the message, metadata, and attachments be removed from the on-line system and stored in an electronic format. For example, a message stored in an on-line system can be saved to a file on a local hard drive. The file should be stored in a format which is compatible with agency operations, and filed according to filing practices established by the agency and/or user.

4 Near-line storage allows the user to maintain a moderate amount of functionality, in that messages stored near-line can be retrieved and referenced electronically. In storing messages, metadata, and attachments, users should be careful to maintain a filing system which is consistent with established practices. This includes filing sequences as well as the use of naming conventions for computer files. In addition, users may want to consider protecting such records from alteration. Off-line storage is defined as the storage of messages, metadata, and attachments outside of an electronic record-keeping environment. The clearest example of this type of storage is to simply print out an message to paper, with its contextual information and attachments in place, for filing within existing filing systems in the agency. Off-line storage reduces dramatically the functionality, in that messages are no longer retrievable in electronic form. However, off-line storage offers users the ability to integrate the filing of records in systems within existing hard-copy filing systems in agencies. Any messages, metadata, and attachments stored off-line should be done in a manner consistent with agency practice. MESSAGES AND THE RULES OF EVIDENCE Agency records officers and local government records officials should be familiar with both state and federal rules of evidence requirements. For records maintained in electronic information systems, including systems, courts concentrate on assurances that records, and the systems in which the records are created and maintained, are reliable. The reliability of the process or system used to produce records, not the type of media or technology used, - determines the admissibility of records in evidence. Moreover, the federal rules of evidence place the burden for the identification of relevant records on the records creator, and often within a ninety-day time period. At a minimum, agency records officers and local government records officials should ensure that systems used to create, receive and maintain messages have full, complete, and up-to-date systems documentation; that systems follow all Department of Technology and Information (DTI) recommendations for system security; that complete systems backups are regularly and consistently performed; and that the system retains all data and audit trails necessary to prove its reliability as part of the normal course of agency business. Backup procedures need to be coordinated with disposition procedures and actions so that no copies of records are maintained after the retention period for the records has expired. At the same time, agency records officers and local government records officials (together with the agency IRM and/or Information Systems Administrator), should develop internal procedures to identify record copy responsibilities for systems. For example, agency policy documents which are transmitted to multiple recipients via an system need not be maintained by each recipient beyond his or her need for this information if record copy responsibility is established so that the record is maintained by some office or agent for its established retention period. In this example, a logical record copy responsibility rests with the creator of the policy document. Prompt deletion of duplicate copies of messages from an system makes the system as a whole much easier to manage and reduces disk space consumed by redundant information. Again, agency records officers and local government records officials need to plan for records maintenance and record copy responsibilities for the records system to meet requirements for reliability and legal records disposition. ACCESSIBILITY A major challenge for agency records officers and local government records officials is to guarantee that records maintained in electronic information systems are accessible and usable for the entire length of the retention period. Rapid changes and enhancements to both hardware and software propel this challenge. As many systems have limitations in storage space that cause operational problems when messages are stored in the system beyond a specific period (such as sixty or ninety days), procedures must be in place to transfer records from the system to another electronic records keeping system to meet retention requirements. Again, it is illegal in Delaware to destroy a public record, including records created in an system, without a formal retention period being established for the record through an authorized records retention schedule, and without following records disposition procedures of the Delaware Public Archives. Beyond this generic challenge of technology change, there are more mundane, but equally critical steps that must be in place to ensure that records created by systems can be located and retrieved when required. Central is a system of standardized naming conventions and filing rules within the systems. messages should be indexed in an organized and consistent pattern reflecting the ways in which records are used and referenced. Records maintained

5 electronically, including messages, have an advantage over conventional hard copy" document filing systems in that indexing for multiple access points is relatively simple and inexpensive, provided an effective indexing framework is in place. Planning records indexing and retrieval points is time well spent. Unnecessary time needed to retrieve electronic records is not productive staff time, and is an annoyance to the public as well. Effective March 1, 1999 Revised September 1, 2002

E-MAIL RETENTION BEST PRACTICE. Issue Date: April 20, 2011. Intent and Purpose:

E-MAIL RETENTION BEST PRACTICE. Issue Date: April 20, 2011. Intent and Purpose: E-MAIL RETENTION BEST PRACTICE Issue Date: April 20, 2011 Intent and Purpose: The intent of this best practice is for county officials to have an educational mechanism to explain requirements for maintaining

More information

State of New Jersey Circular Letter 03-10-ST: Managing Electronic Mail: Guidelines and Best Practices

State of New Jersey Circular Letter 03-10-ST: Managing Electronic Mail: Guidelines and Best Practices CIRCULAR LETTER NO: 03-10-ST ORIGINATING AGENCY: DIVISION OF ARCHIVES AND RECORDS MANAGEMENT, DEPARTMENT OF STATE EFF DATE: 7/11/02 EXP DATE: INDEFINITE SUPERSEDES: NONE SUBJECT: MANAGING ELECTRONIC MAIL:

More information

These guidelines apply to state and local government agencies in the State of New Jersey.

These guidelines apply to state and local government agencies in the State of New Jersey. 1 of 10 1/24/2006 8:49 AM Search Department of State MANAGING ELECTRONIC MAIL: GUIDELINES AND BEST PRACTICES CIRCULAR LETTER NO: 03-10-ST ORIGINATING AGENCY: DIVISION OF ARCHIVES AND RECORDS MANAGEMENT,

More information

MANAGING ELECTRONIC MAIL

MANAGING ELECTRONIC MAIL RIM RECORDED INFORMATION MANAGEMENT MANAGING ELECTRONIC MAIL March 2007 Public Archives and Records Office of PEI MANAGING ELECTRONIC MAIL Guidelines for the Government of Prince Edward Island 1. Scope

More information

Arizona State Library, Archives and Public Records

Arizona State Library, Archives and Public Records Arizona State Library, Archives and Public Records RECORDS MANAGEMENT DIVISION 1919 West Jefferson Phoenix, Arizona 85009 (602) 542-3741 Managing Public Records Sent and Received Via Electronic Mail These

More information

State of Michigan Records Management Services. Frequently Asked Questions About E mail Retention

State of Michigan Records Management Services. Frequently Asked Questions About E mail Retention State of Michigan Records Management Services Frequently Asked Questions About E mail Retention It is essential that government agencies manage their electronic mail (e mail) appropriately. Like all other

More information

Idaho Records Center A Program of the Idaho State Archives

Idaho Records Center A Program of the Idaho State Archives Idaho s Center A Program of the Idaho Archives Administrative s Schedule of the s Management Guide (This Schedule Revised April, 2008) C.L. BUTCH OTTER, GOVERNOR Idaho Historical Society Janet Gallimore,

More information

DELAWARE PUBLIC ARCHIVES POLICY STATEMENT AND GUIDELINES MODEL GUIDELINES FOR ELECTRONIC RECORDS

DELAWARE PUBLIC ARCHIVES POLICY STATEMENT AND GUIDELINES MODEL GUIDELINES FOR ELECTRONIC RECORDS DELAWARE PUBLIC ARCHIVES POLICY STATEMENT AND GUIDELINES MODEL GUIDELINES FOR ELECTRONIC RECORDS STATEMENT OF PURPOSE The Delaware Public Archives (DPA) has issued "Model Guidelines for Electronic Records"

More information

SOUTHWEST VIRGINIA COMMUNITY COLLEGE RECORDS MANAGEMENT PROGRAM. Revised January 15, 2014

SOUTHWEST VIRGINIA COMMUNITY COLLEGE RECORDS MANAGEMENT PROGRAM. Revised January 15, 2014 SOUTHWEST VIRGINIA COMMUNITY COLLEGE RECORDS MANAGEMENT PROGRAM Revised January 15, 2014 Page 1 Introduction In compliance with the Code of Virginia, Section 42.1085, Southwest Virginia Community College

More information

State of Montana E-Mail Guidelines

State of Montana E-Mail Guidelines State of Montana E-Mail Guidelines A Management Guide for the Retention of E-Mail Records for Montana State Government Published by the: Montana State Records Committee Helena, Montana September 2006 Based,

More information

POLICY AND GUIDELINES FOR THE MANAGEMENT OF ELECTRONIC RECORDS INCLUDING ELECTRONIC MAIL (E-MAIL) SYSTEMS

POLICY AND GUIDELINES FOR THE MANAGEMENT OF ELECTRONIC RECORDS INCLUDING ELECTRONIC MAIL (E-MAIL) SYSTEMS POLICY AND GUIDELINES FOR THE MANAGEMENT OF ELECTRONIC RECORDS INCLUDING ELECTRONIC MAIL (E-MAIL) SYSTEMS 1. Purpose Establish and clarify a records management policy for municipal officers with respect

More information

E-Mail Management & Retention

E-Mail Management & Retention E-Mail Management & Retention Maine State Archives Records Management Division Basic Information What is e-mail? Formally, it is a document created or received on an electronic mail system including brief

More information

Scotland s Commissioner for Children and Young People Records Management Policy

Scotland s Commissioner for Children and Young People Records Management Policy Scotland s Commissioner for Children and Young People Records Management Policy 1 RECORDS MANAGEMENT POLICY OVERVIEW 2 Policy Statement 2 Scope 2 Relevant Legislation and Regulations 2 Policy Objectives

More information

Electronic Record Management Guidelines for Arkansas State Government. Developed by the Arkansas Records Retention Workgroup

Electronic Record Management Guidelines for Arkansas State Government. Developed by the Arkansas Records Retention Workgroup Electronic Record Management Guidelines for Arkansas State Government Developed by the Arkansas Records Retention Workgroup October 2005 This page is blank to allow for correct pagination for duplex printing.

More information

8. RECORDS AND INFORMATION MANAGEMENT

8. RECORDS AND INFORMATION MANAGEMENT 8. RECORDS AND INFORMATION MANAGEMENT Overview This chapter is intended to help public bodies understand how good records and information management practices assist in the effective administration of

More information

HCAOG Records Retention Policies & Procedures

HCAOG Records Retention Policies & Procedures HCAOG Records Retention Policies & Procedures Draft September 2015 HUMBOLDT COUNTY ASSOCIATION OF GOVERNMENTS 611 I Street, Suite B Eureka, CA 95501 www.hcaog.net RECORDS MANAGEMENT These procedures are

More information

Records Management Plan

Records Management Plan Records Management Plan Harris County, Texas Prepared By: Harris County CTS Reviewed and Approved by: The County Attorney s Office The District Attorney s Office The County Auditor s Office October 13,

More information

September 28 2011. Tsawwassen First Nation Policy for Records and Information Management

September 28 2011. Tsawwassen First Nation Policy for Records and Information Management Tsawwassen First Nation Policy for Records and Information Management September 28 2011 Tsawwassen First Nation Policy for Records and Information Management Table of Contents 1. RECORDS AND INFORMATION

More information

Chapter 2.82 - RECORDS MANAGEMENT Sections:

Chapter 2.82 - RECORDS MANAGEMENT Sections: Chapter 82 - RECORDS MANAGEMENT Sections: 8010 - Government records findings Recognition of public policy. The council of Salt Lake County finds the following: A. It is in the best interests of Salt Lake

More information

Guidelines. Managing E-mail Records. Office of the Secretary of State. Approved and Recommended by the State Records Commission February 22, 2001

Guidelines. Managing E-mail Records. Office of the Secretary of State. Approved and Recommended by the State Records Commission February 22, 2001 Guidelines Managing E-mail Records Approved and Recommended by the State Records Commission February 22, 2001 Office of the Secretary of State Introduction Most everyone would agree that e-mail has changed

More information

5 FAM 440 ELECTRONIC RECORDS, FACSIMILE RECORDS, AND ELECTRONIC MAIL RECORDS

5 FAM 440 ELECTRONIC RECORDS, FACSIMILE RECORDS, AND ELECTRONIC MAIL RECORDS 5 FAM 440 ELECTRONIC RECORDS, FACSIMILE RECORDS, AND ELECTRONIC MAIL RECORDS (CT:IM-158; 12-29-2014) (Office of Origin: A/GIS/IPS) NOTE: In October, 2014, the Department issued an interim directive superseding

More information

2.82.010 Government records findings--recognition of public policy.

2.82.010 Government records findings--recognition of public policy. Chapter 2.82 RECORDS MANAGEMENT 2.82.010 Government records findings--recognition of public policy. The council of Salt Lake County finds the following: A. It is in the best interests of Salt Lake County

More information

RECORDS MANAGEMENT MANUAL

RECORDS MANAGEMENT MANUAL RECORDS MANAGEMENT MANUAL Date: September, 2007 Authored By: University Archives Contents 1. Records Management at UBC 3 A) Purpose of The Records Manual 3 B) Benefits of Records Management 3 C) Some Records

More information

Chapter 434-662 WAC PRESERVATION OF ELECTRONIC PUBLIC RECORDS

Chapter 434-662 WAC PRESERVATION OF ELECTRONIC PUBLIC RECORDS Chapter 434-662 WAC PRESERVATION OF ELECTRONIC PUBLIC RECORDS WAC 434-662-010 Purpose. Pursuant to the provisions of chapters 40.14 and 42.56 RCW, and RCW 43.105.250, the rules contained in this chapter

More information

Managing Shared Electronic Workspace

Managing Shared Electronic Workspace i Information Management Managing Shared Electronic Workspace (Non-EIM Environment) Business Rules December 2005 Produced by: Records and Information Management Branch Information Services Division Service

More information

Auditor of Public Accounts

Auditor of Public Accounts Auditor of Public Accounts Records Retention Schedule Prepared by the State Records Branch Approved by the State Archives and Records Commission This records retention schedule governs retention and disposal

More information

Why should the CSU have a records/information retention and disposition policy?

Why should the CSU have a records/information retention and disposition policy? RECORDS MANAGEMENT SERVICES Frequently Asked Questions (FAQs) Retention Policy Why should the CSU have a records/information retention and disposition policy? A records/information retention and disposition

More information

EMPLOYEE BEHAVIOR & EXPECTATIONS CITY OF PORTLAND HUMAN RESOURCES ADMINISTRATIVE RULES 4.08 INFORMATION TECHNOLOGIES

EMPLOYEE BEHAVIOR & EXPECTATIONS CITY OF PORTLAND HUMAN RESOURCES ADMINISTRATIVE RULES 4.08 INFORMATION TECHNOLOGIES CITY OF PORTLAND HUMAN RESOURCES ADMINISTRATIVE RULES EMPLOYEE BEHAVIOR & EXPECTATIONS Purpose The City of Portland provides information technologies to its employees to use in the course of doing their

More information

E-mail Management: A Guide For Harvard Administrators

E-mail Management: A Guide For Harvard Administrators E-mail Management: A Guide For Harvard Administrators E-mail is information transmitted or exchanged between a sender and a recipient by way of a system of connected computers. Although e-mail is considered

More information

RECORDS AND INFORMATION MANAGEMENT AND RETENTION

RECORDS AND INFORMATION MANAGEMENT AND RETENTION RECORDS AND INFORMATION MANAGEMENT AND RETENTION Policy The Health Science Center recognizes the need for orderly management and retrieval of all official records and a documented records retention and

More information

Polices and Procedures

Polices and Procedures The University of British Columbia Land and Building Services Polices and Procedures Prepared by: Robson Agnew Approved by: Geoff Atkins Records and Information Management I-A-29 Issue Date: Aug. 20, 2007

More information

EMAIL MANAGEMENT GUIDELINES

EMAIL MANAGEMENT GUIDELINES EMAIL MANAGEMENT GUIDELINES FOR COUNTIES AND MUNICIPALITIES 1. Purpose The purpose of these guidelines is to ensure that the electronic mail records of county and municipal government officials and employees

More information

INSTITUTE OF TECHNOLOGY TALLAGHT RECORD MANAGEMENT & RETENTION POLICY

INSTITUTE OF TECHNOLOGY TALLAGHT RECORD MANAGEMENT & RETENTION POLICY INSTITUTE OF TECHNOLOGY TALLAGHT RECORD MANAGEMENT & RETENTION POLICY INTRODUCTION Under the Freedom of Information Acts, 1997 and 2003 the Institute is obliged to comply with legislation and publish a

More information

Rainy River District School Board SECTION 2

Rainy River District School Board SECTION 2 Rainy River District School Board SECTION 2 Organization & Administration RECORDS INFORMATION MANAGEMENT PROCEDURE PURPOSE 2.81 Records Information Management (RIM) is the systematic management of all

More information

Electronic Records Management Guidelines

Electronic Records Management Guidelines Electronic Records Management Guidelines I. Objectives The employees of the Fort Bend Independent School District (the District ) routinely create, use, and manage information electronically in their daily

More information

West Chester University Records Management Policy

West Chester University Records Management Policy 1. Introduction West Chester University is committed to effective records management to preserve its history, meet legal standards, optimize the use of space, minimize the cost of record retention, and

More information

Administrative Procedures Memorandum A2005

Administrative Procedures Memorandum A2005 Page 1 of 12 Date of Issue: June 2014 Original Date of Issue: Subject: References: Links: Contact: June 2014 RECORDS AND INFORMATION MANAGEMENT Policy 2196 Records and Information Management Policy 2197

More information

Non-Profit Records Management Tool Kit

Non-Profit Records Management Tool Kit Non-Profit Records Management Tool Kit January 2013 Contents Introduction.... 3 Generally Accepted Record Keeping Principles.... 4 What is a Record?.... 5 File Maintenance.... 6 Classifying a Record.....8

More information

Montana Local Government Records Management Guidelines

Montana Local Government Records Management Guidelines Montana Local Government Records Management Guidelines Prepared and Published by the Montana Local Government Records Committee Rev 3.0 Sep 2010 TABLE OF CONTENTS Introduction i Authority...ii Definitions...

More information

Table of Contents. Chapter No. 1. Introduction 1. 2. Objective 1. 3. E-mail Use Compliance 1. 4. Definitions 2. 5. Roles and Responsibilities 2

Table of Contents. Chapter No. 1. Introduction 1. 2. Objective 1. 3. E-mail Use Compliance 1. 4. Definitions 2. 5. Roles and Responsibilities 2 Table of Contents Chapter Subject Page No. 1. Introduction 1 2. Objective 1 3. E-mail Use Compliance 1 4. Definitions 2 5. Roles and Responsibilities 2 6. Creation and Use of E-mails 3 7. Managing E-mails

More information

Records Management Basic Information For Local Government Agencies

Records Management Basic Information For Local Government Agencies Records Management Basic Information For Local Government Agencies Title 5: ADMINISTRATIVE PROCEDURES AND SERVICES Part 1: STATE DEPARTMENTS Chapter 6: STATE ARCHIVIST (HEADING: PL 1973, c. 625, @16 (new))

More information

Saskatchewan Records Management Guidelines

Saskatchewan Records Management Guidelines Saskatchewan Archives Board Saskatchewan Records Management Guidelines NOTE: These Records Management Guidelines are intended to guide the development of specific policies and procedures that recognize

More information

Record Retention and Digital Asset Management Tim Shinkle Perpetual Logic, LLC

Record Retention and Digital Asset Management Tim Shinkle Perpetual Logic, LLC Record Retention and Digital Asset Management Tim Shinkle Perpetual Logic, LLC 1 Agenda Definitions Electronic Records Management EDMS and ERM ECM Objectives Benefits Legal and Regulatory Requirements

More information

Practical tips for managing e mail

Practical tips for managing e mail E MAIL MANAGEMENT E mail messages both sent and received that provide evidence of a government transaction are considered public records. Agencies and locality Records Officers must ensure that e mail

More information

Management of Email Records

Management of Email Records Department of Culture and the Arts Government of Western Australia State Records Office of Western Australia SRO Guideline Management of Email Records A Recordkeeping Guideline for State Organizations

More information

Guidelines for Managing E-Mail in Kentucky Government 1

Guidelines for Managing E-Mail in Kentucky Government 1 Guidelines for Managing E-Mail in Kentucky Government 1 I. Introduction Electronic Mail (e-mail) is an important communication tool for conducting government business in the Commonwealth of Kentucky. Increasingly,

More information

State Records Office Guideline. Management of Digital Records

State Records Office Guideline. Management of Digital Records State Records Office Guideline Management of Digital Records An Information Management Guideline for State Organizations Version 2 January 2015 www.sro.wa.gov.au Contents GLOSSARY... 2 PURPOSE... 5 BACKGROUND...

More information

1. Each employee is responsible for managing college records in a responsible and professional manner.

1. Each employee is responsible for managing college records in a responsible and professional manner. Policy O-6.2 Approved By: College Executive Team Approval Date: February 26, 2003 Amendment Date: November 25, 2009 Policy Holder: VP Administration & CFO Purpose / Rationale RECORD MANAGEMENT The purpose

More information

This Policy is issued by the Sector Head responsible for Records Management.

This Policy is issued by the Sector Head responsible for Records Management. Records Management Policy Effective Date: This Policy takes effect on July 15, 2013 Purpose The purpose of this policy is to achieve efficient and effective management of CMHC information with business

More information

GREATER TEXAS FEDERAL CREDIT UNION RECORDS PRESERVATION PROGRAM

GREATER TEXAS FEDERAL CREDIT UNION RECORDS PRESERVATION PROGRAM Approved: September 17, 2002 Purpose of Program: GREATER TEXAS FEDERAL CREDIT UNION RECORDS PRESERVATION PROGRAM In accordance with the National Credit Union Administration ( NCUA ) Rules and Regulations

More information

United Cerebral Palsy of Greater Chicago Records and Information Management Policy and Procedures Manual, December 12, 2008

United Cerebral Palsy of Greater Chicago Records and Information Management Policy and Procedures Manual, December 12, 2008 United Cerebral Palsy of Greater Chicago Records and Information Management Policy and Procedures Manual, December 12, 2008 I. Introduction United Cerebral Palsy of Greater Chicago ( UCP ) recognizes that

More information

State of Michigan Records Management Services. Guide to E mail Storage Options

State of Michigan Records Management Services. Guide to E mail Storage Options State of Michigan Records Management Services Guide to E mail Storage Options E mail is a fast, efficient and cost effective means for communicating and sharing information. However, e mail software is

More information

Functional Requirements for Recordkeeping

Functional Requirements for Recordkeeping APPENDIX 4b Functional Requirements for Recordkeeping 294 / APPENDIX APPENDIX Functional Requirements for Recordkeeping Systems The document in this appendix has been developed in conjunction with a three-year

More information

Massachusetts Statewide Records Retention Schedule 02-11 August 2014 Supplement www.sec.state.ma.us/arc/arcrmu/rmuidx.htm

Massachusetts Statewide Records Retention Schedule 02-11 August 2014 Supplement www.sec.state.ma.us/arc/arcrmu/rmuidx.htm Massa achusetts Statewide Records Retention Schedule 02-11 August 2014 Supplement www.sec.state.ma.us/arc/arcrmu/rmuidx.htm Summary of Contents About This Supplement... 7 Revisions to the Current Edition...

More information

PSAB Supplement 21 Records Retention and Disposition

PSAB Supplement 21 Records Retention and Disposition PSAB Supplement 21 Records Retention and Disposition KEY WORDS INDEX... I TABLE OF AUTHORITIES... II PSAB Supplement 21 Records, Retention and Disposition MANUAL OF PROCEDURES PSAB SUPPLEMENT 21 RECORDS,

More information

BASIC STEPS IN A RECORDS MANAGEMENT PROGRAM. The basic steps in implementing a records management program are: Inventory Appraisal Scheduling

BASIC STEPS IN A RECORDS MANAGEMENT PROGRAM. The basic steps in implementing a records management program are: Inventory Appraisal Scheduling INTRODUCTION Records are indispensable in the efficient and economical operation of state government. They serve as the memory; they are the evidence of past events and the basis for future actions. When

More information

Updated 02/12/07. The information presented here is not intended to supersede the counsel of professionals within an Arkansas agency

Updated 02/12/07. The information presented here is not intended to supersede the counsel of professionals within an Arkansas agency Frequently Asked Questions Related to The Arkansas General Records Retention Schedule Question: Does the proposed records retention schedule list all the records my must hold and, if not, does this mean

More information

COUNCIL POLICY R180 RECORDS MANAGEMENT

COUNCIL POLICY R180 RECORDS MANAGEMENT 1. Scope The City of Mount Gambier Records Management Policy provides the policy framework for Council to effectively fulfil its obligations and statutory requirements under the State Records Act 1997.

More information

Request for Records,...D-is_p_o_s-it-io_n_A_u_t_h_o-ri_ty... ~ Le_a_v_e-B-Ia_n_k-(N_A_RA--Us_e_O_nl-y)--1

Request for Records,...D-is_p_o_s-it-io_n_A_u_t_h_o-ri_ty... ~ Le_a_v_e-B-Ia_n_k-(N_A_RA--Us_e_O_nl-y)--1 ~' Request for Records,...D-is_p_o_s-it-io_n_A_u_t_h_o-ri_ty... ~ Le_a_v_e-B-Ia_n_k-(N_A_RA--Us_e_O_nl-y)--1 {See Instructions on reverse) Job Number " 1 To: National Archives and Records Administration

More information

NCI-Frederick Safety and Environmental Compliance Manual 03/2013

NCI-Frederick Safety and Environmental Compliance Manual 03/2013 E-1. Records Management I. Scope The Records Management Office maintains a comprehensive records management system meeting regulatory and contractual requirements ensuring documentation is readily accessible.

More information

Measures Regarding Litigation Holds and Preservation of Electronically Stored Information (ESI)

Measures Regarding Litigation Holds and Preservation of Electronically Stored Information (ESI) University of California, Merced Measures Regarding Litigation Holds and Preservation of Electronically Stored Information (ESI) Responsible Officials: Executive Vice Chancellor and Provost Vice Chancellor

More information

University of Louisiana System

University of Louisiana System Policy Number: M-17 University of Louisiana System Title: RECORDS RETENTION & Effective Date: OCTOBER 10, 2012 Cancellation: None Chapter: Miscellaneous Policy and Procedures Memorandum Each institution

More information

RECORDS MANAGEMENT MANUAL STATE GOVERNMENT AGENCIES

RECORDS MANAGEMENT MANUAL STATE GOVERNMENT AGENCIES 1-1. Acknowledgement Files RECORDS MANAGEMENT MANUAL SCHEDULE NO. 1 ADMINISTRATIVE RECORDS Acknowledgment, transmittal of inquiries, and requests that have been referred elsewhere for reply. Retain for

More information

Life Cycle of Records

Life Cycle of Records Discard Create Inactive Life Cycle of Records Current Retain Use Semi-current Records Management Policy April 2014 Document title Records Management Policy April 2014 Document author and department Responsible

More information

COLORADO COMMUNITY COLLEGE SYSTEM SYSTEM PRESIDENT S PROCEDURE ELECTRONIC COMMUNICATIONS MANAGEMENT AND RETENTION PROCEDURES

COLORADO COMMUNITY COLLEGE SYSTEM SYSTEM PRESIDENT S PROCEDURE ELECTRONIC COMMUNICATIONS MANAGEMENT AND RETENTION PROCEDURES Page 1 of 6 SP 3-125d COLORADO COMMUNITY COLLEGE SYSTEM SYSTEM PRESIDENT S PROCEDURE ELECTRONIC COMMUNICATIONS MANAGEMENT AND RETENTION PROCEDURES EFFECTIVE: June 14, 2009 REFERENCE: BP 3-125; Electronic

More information

Prosecuting Attorneys Council of Georgia

Prosecuting Attorneys Council of Georgia 1. Purpose: This policy is intended to help personnel determine what information sent or received by email should be retained and for how long. The information covered in this policy includes, but is not

More information

File Management : Guidelines & Policies

File Management : Guidelines & Policies File Management : Guidelines & Policies Which files are considered records? Files created or received pursuant to the transaction of University business or in the fulfillment of its educational, administrative,

More information

CUNY SCHOOL OF PROFESSIONAL STUDIES: DEPARTMENTAL RETENTION SCHEDULE 4/7/2014 OFFICE OF INFORMATION TECHNOLOGY

CUNY SCHOOL OF PROFESSIONAL STUDIES: DEPARTMENTAL RETENTION SCHEDULE 4/7/2014 OFFICE OF INFORMATION TECHNOLOGY IT-1 Contracts/ Software Licenses/ Use Agreements General 6[6] IT-2 CUNY SCHOOL OF PROFESSIONAL STUDIES: DEPARTMENTAL RETENTION SCHEDULE 4/7/2014 CUNY-CIS Information Security Procedures Attestation Forms

More information

Discovery Technology Group

Discovery Technology Group Discovery Technology Group E-mail Retention: Readiness Survey E-mail now represents the largest source of new documents and records generated within a company, and the most troublesome from a retention

More information

Records Management Policy.doc

Records Management Policy.doc INDEX Pages 1. DESCRIPTORS... 1 2. KEY ROLE PLAYERS... 1 3. CORE FUNCTIONS OF THE RECORDS MANAGER... 1 4. CORE FUNCTIONS OF THE HEAD OF REGISTRIES... 1 5. PURPOSE... 2 6. OBJECTIVES... 2 7. POLICY... 2

More information

Institute for Advanced Study Shelby White and Leon Levy Archives Center

Institute for Advanced Study Shelby White and Leon Levy Archives Center Institute for Advanced Study Shelby White and Leon Levy Archives Center Managing Electronic Records - Recommendations for Institute Staff File Management: Guidelines & Policies Which files are considered

More information

DEPARTMENT OF THE NAVY RECORDS MANAGEMENT PROGRAM

DEPARTMENT OF THE NAVY RECORDS MANAGEMENT PROGRAM ...-=". DEPARTMENT OF THE NAVY OFFICE OF THE CHIEF OF NAVAL OPERATIONS 2000 NAVY PENTAGON WASH INGTON, D.C. 20350 2000 IN REPLY RE FER T O SECNAVINST 5210.8D DONCIO SECNAV INSTRUCTION 5210.8D From: Subj:

More information

Records Management. Training 101

Records Management. Training 101 Records Management Training 101 Learning Objectives This training is designed to help you: Understand the importance of Records Management and why records are maintained Understand your RM responsibilities

More information

LEHMAN COLLEGE: DEPARTMENTAL RETENTION SCHEDULE 8/7/2014 INFORMATION TECHNOLOGY (IT)

LEHMAN COLLEGE: DEPARTMENTAL RETENTION SCHEDULE 8/7/2014 INFORMATION TECHNOLOGY (IT) IT-1 Contracts/ Software Licenses/ Use Agreements Legal agreements, including contracts, legal releases, software licenses, and use agreements involving the College or the University 6 years after expiration

More information

Does not differentiate among media. The content of the email message determines whether the message is a record.

Does not differentiate among media. The content of the email message determines whether the message is a record. Summary An electronic mail message or email consists of a digitally created, transmitted, and stored message and any attached digital documents. State and local governments use email for a variety of tasks

More information

UNIVERSITY OF MASSACHUSETTS RECORD MANAGEMENT, RETENTION AND DISPOSITION POLICY

UNIVERSITY OF MASSACHUSETTS RECORD MANAGEMENT, RETENTION AND DISPOSITION POLICY DOC. T99-061 Passed by the BoT 8/4/99 UNIVERSITY OF MASSACHUSETTS RECORD MANAGEMENT, RETENTION AND DISPOSITION POLICY The President of the University shall adopt guidelines to require that each campus

More information

Electronic Records Management Guidelines

Electronic Records Management Guidelines Electronic Records Management Guidelines Contents Section 1: Authority... 1 Section 2: Purpose and Scope... 1 Section 3: Records Custodian Responsibilities... 2 Section 4: Information Systems that produce,

More information

Approved by: Vice President, Human Resources & Corporate Resources and Vice President, Treasury & Compliance Date: October 14, 2009

Approved by: Vice President, Human Resources & Corporate Resources and Vice President, Treasury & Compliance Date: October 14, 2009 RECORDS AND INFORMATION Approved by: Vice President, Human Resources & Corporate Resources and Vice President, Treasury & Compliance Date: October 14, 2009 PURPOSE Penn West recognizes that responsible

More information

Electronic Records Management Strategy

Electronic Records Management Strategy Overview The arrival of the Information Age means that much of our history is now recorded in electronic format, including your agency s activities. Because of that, you need to develop a strategy for

More information

Idaho Judicial Branch Scanning and Imaging Guidelines DRAFT - October 25, 2013

Idaho Judicial Branch Scanning and Imaging Guidelines DRAFT - October 25, 2013 Idaho Judicial Branch Scanning and Imaging Guidelines DRAFT - October 25, 2013 A. Introduction Many of Idaho s courts have considered or implemented the use of digital imaging systems to scan court documents

More information

G.B.C. Records Management Policy Framework p. 1 of 6 [ Approved 11 Nov ]

G.B.C. Records Management Policy Framework p. 1 of 6 [ Approved 11 Nov ] G.B.C. Records Management Policy Framework p. 1 of 6 [ Approved 11 Nov. 2008 ] Preamble This policy institutes a records management program framework, as the basis for G.B.C. to: Establish criteria for

More information

Connecticut Sports Foundation, Inc. (CSF) RECORD RETENTION AND DESTRUCTION POLICY

Connecticut Sports Foundation, Inc. (CSF) RECORD RETENTION AND DESTRUCTION POLICY Connecticut Sports Foundation, Inc. (CSF) RECORD RETENTION AND DESTRUCTION POLICY 1) Purpose The purpose of this Policy is to ensure that necessary records of CSF which are of no value are discarded at

More information

RECORDS MANAGEMENT POLICY

RECORDS MANAGEMENT POLICY RECORDS MANAGEMENT POLICY Section Institute Governance and Management Approval Date 20.08.2012 Approved by Senior Management Team Next Review Aug 2015 Responsibility Director of Finance and Corporate Services

More information

Information Management Advice 4 Managing Electronic Communications as Records

Information Management Advice 4 Managing Electronic Communications as Records Information Management Advice 4 Managing Electronic Communications as Records Introduction Whether an electronic communication is a record does not depend on its format or means of communication, rather

More information

UNIVERSITY OF MANITOBA PROCEDURE

UNIVERSITY OF MANITOBA PROCEDURE UNIVERSITY OF MANITOBA PROCEDURE Procedure: Parent Policy: Effective Date: June 23, 2015 Revised Date: Review Date: June 23, 2025 Approving Body: Authority: Responsible Executive Officer: Delegate: Contact:

More information

RECORDS MANAGEMENT POLICY

RECORDS MANAGEMENT POLICY RECORDS MANAGEMENT POLICY POLICY STATEMENT The records of Legal Aid NSW are a major component of its corporate memory and risk management strategies. They are a vital asset that support ongoing operations

More information

Board of County Commissioners Leon County, Florida

Board of County Commissioners Leon County, Florida 10.03 Board of County Commissioners Leon County, Florida Title: Public Records Law, E-mail, Social Media/Networking, and Archiving Date Adopted: April 12, 2011 Effective Date: April 12, 2011 Reference:

More information

Technical Note- Use of Electronic Logbooks for Ambient Air Monitoring 04/20/2016

Technical Note- Use of Electronic Logbooks for Ambient Air Monitoring 04/20/2016 UNITED STATES ENVIRONMENTAL PROTECTION AGENCY RESEARCH TRIANGLE PARK, NC 27711 OFFICE OF AIR QUALITY PLANNING AND STANDARDS Technical Note- Use of Electronic Logbooks for Ambient Air Monitoring 04/20/2016

More information

RECORDS MANAGEMENT TRAINING

RECORDS MANAGEMENT TRAINING RECORDS MANAGEMENT TRAINING EVERYONES RESPONSIBILITY Marine Corps Community Services MCAS, Cherry Point, North Carolina COURSE INFORMATION Course Information Goal The goal of this training is to provide

More information

Records Management Self-Evaluation Guide

Records Management Self-Evaluation Guide Records Management Self-Evaluation Guide Introduction University of Cincinnati Records Management has developed this self-evaluation guide for departments to use as an overview of the basic components

More information

Department of Homeland Security Management Directives System MD Number: 4500.1 Issue Date: 03/01/2003 DHS E-MAIL USAGE

Department of Homeland Security Management Directives System MD Number: 4500.1 Issue Date: 03/01/2003 DHS E-MAIL USAGE Department of Homeland Security Management Directives System MD Number: 4500.1 Issue Date: 03/01/2003 DHS E-MAIL USAGE I. Purpose This directive establishes Department of Homeland Security (DHS) policy

More information

State of Florida ELECTRONIC RECORDKEEPING STRATEGIC PLAN. January 2010 December 2012 DECEMBER 31, 2009

State of Florida ELECTRONIC RECORDKEEPING STRATEGIC PLAN. January 2010 December 2012 DECEMBER 31, 2009 State of Florida ELECTRONIC RECORDKEEPING STRATEGIC PLAN January 2010 December 2012 DECEMBER 31, 2009 Florida Department of State State Library and Archives of Florida 850.245.6750 http://dlis.dos.state.fl.us/recordsmanagers

More information

City of Prescott Data Integrity Policy

City of Prescott Data Integrity Policy City of Prescott Data Integrity Policy Table of Contents Document History... 1 General Archive System Design... 1 Data Archiving Guidelines... 2 Archive Server Design... 2

More information

UNIVERSITY OF NAIROBI POLICY ON RECORDS MANAGEMENT

UNIVERSITY OF NAIROBI POLICY ON RECORDS MANAGEMENT UNIVERSITY OF NAIROBI POLICY ON RECORDS MANAGEMENT APRIL 2011 POLICY ON RECORDS MANAGEMENT TABLE OF CONTENTS DEFINITION OF TERMS AND ACRONYMS... 5 1.0 BACKGROUND... 5 1.1 RATIONALE... 5 1.2 VISION... 5

More information

Section 28.1 Purpose. Section 28.2 Background. DOT Order 1351.28 Records Management. CIOP Chapter 1351.28 RECORDS MANAGEMENT

Section 28.1 Purpose. Section 28.2 Background. DOT Order 1351.28 Records Management. CIOP Chapter 1351.28 RECORDS MANAGEMENT CIOP Chapter 1351.28 RECORDS MANAGEMENT TABLE OF CONTENTS Section 28.1 Purpose... 1 Section 28.2 Background... 1 Section 28.3 Scope and Applicability... 2 Section 28.4 Definitions... 4 Section 28.5 Policy...

More information

Preservation and Production of Electronic Records

Preservation and Production of Electronic Records Policy No: 3008 Title of Policy: Preservation and Production of Electronic Records Applies to (check all that apply): Faculty Staff Students Division/Department College _X Topic/Issue: This policy enforces

More information

Applicability: All Employees Effective Date: December 6, 2005; revised January 27, 2009 Source(s):

Applicability: All Employees Effective Date: December 6, 2005; revised January 27, 2009 Source(s): Title: Category: Administration Information Management Policy No.: B5010 Replaces: B5010 Applicability: All Employees Effective Date: December 6, 2005; revised January 27, 2009 Source(s): Approval: (President

More information

39C-1 Records Management Program 39C-3

39C-1 Records Management Program 39C-3 39C-1 Records Management Program 39C-3 Sec. 39C-1. Sec. 39C-2. Sec. 39C-3. Sec. 39C-4. Sec. 39C-5. Sec. 39C-6. Sec. 39C-7. Sec. 39C-8. Sec. 39C-9. Sec. 39C-10. Sec. 39C-11. Sec. 39C-12. Sec. 39C-13. Sec.

More information

COMMISSION OF PUBLIC RECORDS NEW MEXICO STATE RECORDS CENTER AND ARCHIVES

COMMISSION OF PUBLIC RECORDS NEW MEXICO STATE RECORDS CENTER AND ARCHIVES COMMISSION OF PUBLIC RECORDS NEW MEXICO STATE RECORDS CENTER AND ARCHIVES IMPLEMENTATION GUIDE FOR 1.13.4 NMAC: RECORDS MANAGEMENT REQUIREMENTS FOR ELECTRONIC MESSAGING July 1, 2007 1205 Camino Carlos

More information

Friends of Black Rock High Rock Records Management Policy

Friends of Black Rock High Rock Records Management Policy Friends of Black Rock High Rock Records Management Policy SECTION 1: MANAGEMENT OF RECORDS 1.1 Objective The objective of the Records Management Policy is to support Friends of Black Rock High Rock (FBRHR)

More information